Mohna Shah Email & Phone Number

Seattle, WA, US

Washington D.C. Metro Area

Supervised a team of 6 to handle operations and trading with a focus on reducing risks across the business.Facilitated culture of compliance in 4 months through enhanced enforcement and training, and provided subject matter expertise on regulatory compliance.Improved control framework, policies and procedures, and annual compliance testing plan based on.

Washington D.C. Metro Area

Managed compliance with Global Investment Performance Standards (GIPS) ($100B in AUM), including implementation of financial systems and coordination with independent consulting firm for annual GIPS verification.Spearheaded implementation of enterprise-wide composite software system to track and analyze performance and dispersion for all portfolio.

Led integration of Rydex Investments into Security Global’s compliance with GIPS ($10B in AUM).Supervised staff to ensure timely completion of reconciliations, reporting, and billing payments, resulting in improved client and stakeholder satisfaction.Identified areas for process improvement and implemented solutions that optimized workflows, resulting in.

Substantially improved risk management and compliance efficiency by assessing risk appetite, surfacing risks, and then designing and executing the testing plan in 6 months based on Compliance Program Rule 206(4)-7.Updated ADVs, policy and procedures, and prospectuses/SAIs in accordance with SEC rules and regulations (1940 Advisors Act, 1940 Investment.

Conducted financial statement audits and internal controls testing for investment companies and non-profit organizations (including A-133 audits).Managed teams and trained newer associates to complete audits on schedule and within budget.

Bachelor'S Degree, Economics

Master'S Degree, Accounting